AvaxNews

LPL Fined $950000 for Failing to Supervise Sale of Alternative Investments – BankInvestmentConsultant.com



LPL Fined $950000 for Failing to Supervise Sale of Alternative Investments
BankInvestmentConsultant.com
FINRA slammed LPL Financial with a $950,000 fine for alleged supervisory deficiencies regarding alternative investments, the regulator announced Monday. FINRA found that from Jan. 1, 2008 to July 1, 2012, LPL failed to have a reasonable supervisory ...
LPL Financial Fined by FINRA - Analyst BlogNASDAQ

all 4 news articles »

Comments are closed

Поговорим о Кино

Copyright Financial News Focus | White Kitchen | Tax Haven Countries